EHS Xerox Environment, Health and Safety Supplier Requirements: Chemical Bans/Restrictions and Part Marking. Version 8.

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1 Xerox Environment, Health and Safety Supplier Requirements: Chemical Bans/Restrictions and Part Marking EHS 1001 Version th March 2016 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v. 8.2 Page 1

2 Prepared by: Xerox Corporation Environment, Health and Safety 800 Phillips Road, Bldg F Webster, New York USA 2016 by Xerox Corporation. All rights reserved. XEROX and all Xerox product names mentioned in this publication are trademarks of XEROX CORPORATION. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 2

3 Table of Contents 1 Introduction Objective Applicability Responsibilities of Xerox Suppliers Future Updates Questions/Additional Information Specification Regulatory Compliance Ozone Depleting Substances Chemical Substance Bans and Restrictions Parts Marking Packaging... 5 Appendix A... 6 Xerox Specifications for Control of Chemical Substances in Products, Parts, Materials and Packaging... 6 A.1 OBJECTIVE... 6 A.2 DEFINITIONS... 6 A.3 SPECIFICATIONS... 7 A.3.i Prohibited Substances... 7 RoHS 1 Prohibited Substances:.7 Other Prohibited Substances...8 TABLE A3. ROHS Exemptions. 12 A.3.ii Reportable Substances ( Reportable if intend to use)...19 Table B1. Xerox Reportable Substances...19 REACH Reportable Substances Appendix B.22 Xerox Environment, Health and Safety Policy Appendix C...23 EHS1001 Compliance Forms Appendix D.24 Revision History EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 3

4 1 Introduction 1.1 Objective This document establishes Xerox Corporation's environmental, health and safety (EH&S) requirements for its suppliers with regard to regulatory compliance, chemical bans and restrictions, and parts marking. The requirements support Xerox s commitment to regulatory compliance, safe products, protection of the environment/human health and customer satisfaction as stated in the company s corporate EH&S policy (Appendix B). 1.2 Applicability Xerox Corporation s suppliers of products, materials, parts and packaging. 1.3 Responsibilities of Xerox Suppliers Xerox suppliers: - shall meet all requirements of this standard - shall certify compliance with this specification using all forms in Appendix C - shall retain information and/or data to demonstrate compliance with this specification including but not limited to the Xerox or supplier part number, part or material description, substance or substances disclosed, substance percentage used by weight, supplier certificates of compliance of components and materials, results of analysis and analytical source where applicable, and the name of a responsible person - shall complete all forms when providing both new and updated component part information. Partial form completion, even when providing updates is not acceptable for our information management system. - shall provide, upon request, Xerox and/or third parties responsible for verification with copies of the aforementioned information as well as any other applicable compliance documentation - shall ensure that their suppliers also utilize socially responsible supply chain due diligence practices including but not limited to mining and smelting operations. Suppliers will operate in compliance with Section 1502 of Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of Conflict Minerals. - shall have an Environmental Management System 1.4 Future Updates Xerox will review this document on a periodic basis and will make any necessary revisions to ensure that these requirements remain relevant to current EH&S regulations, stakeholder requirements and industry practices. The changes are explained in Appendix D. Forms completed using earlier versions of this document remain valid unless new data is specifically requested. 1.5 Questions/Additional Information Please direct any questions about these requirements to your Xerox procurement contact. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 4

5 2 Specification 2.1 Regulatory Compliance Suppliers shall comply with all applicable EH&S laws and regulations in the jurisdictions in which they operate and shall comply with all EH&S laws and regulations applicable to the product, part, material, packaging or commodity provided to Xerox. 2.2 Ozone Depleting Substances Supplier shall not incorporate an Ozone Depleting Substance (ODS) as defined by the Montreal Protocol and the US Environmental Protection Agency Clean Air Act Amendments of 1990 in the manufacture or processing of a product, part, or commodity provided to Xerox. A list of ODS is available at Chemical Substance Bans and Restrictions Supplier shall meet the Xerox Specifications for Control of Chemical Substances in Products, Parts, Accessories, Materials and Packaging as specified in Appendix A. Additional requirements apply to consumables; see Xerox Standards EHS-701 (chemical substances and mixtures) and EHS-1010 (paper and media). For Packaging, reference Xerox Standard EHS-710. Supplier shall provide the weight (in grams) of each battery contained in any given part or product. 2.4 Parts Marking Supplier shall mark plastic parts, assemblies and end-items provided to Xerox, with the resin content identification code as specified in Xerox Multinational Design Standard 88P215 Methods and Requirements for Part Marking Identification or ISO Standard 11469, Plastics Generic identification and marking of plastic parts. Note that this requirement applies to parts weighing more than 25 grams. 2.5 Packaging Supplier must comply with the requirements as defined in Xerox Standard EH&S-710, EH&S Requirements for Packaging This standard specifies the minimum environment, health, and safety requirements for packaging of products, parts, or materials shipped to any manufacturing site, distribution center or customer from suppliers or other Xerox locations. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 5

6 Appendix A Xerox Specifications for Control of Chemical Substances in Products, Parts, Materials and Packaging A.1 OBJECTIVE This appendix details Xerox Corporation's specifications for prohibiting and restricting certain chemical substances in products, parts, materials and packaging provided to Xerox for use in Xerox products. Additional requirements apply to Xerox consumables. A.2 DEFINITIONS Accessories: items not integral to, but necessary for, use of a product. Accessories include, but are not limited to, items such as power cords, finishers, feeders or product manuals. Batteries: any source of electrical energy generated by direct conversion of electrical energy, and consisting of one or more primary battery cells (non-rechargeable) or of one or more secondary battery cells (rechargeable). Consumables: items such as inks, toners, fuser lubricant or papers. Electronic product: electrical and electronic equipment that is within the scope of the waste electrical and electronic equipment Directive 2002/96/EC and/or the restriction of the use of certain hazardous substances in electrical and electronic equipment Directive 2002/95/EC and subsequent revisions. Impurity: residual quantities of chemical substances that are unintentionally present in raw materials or are by-products of the manufacturing process. Ingredient: any chemical substance intentionally used in the formulation of a material for use in the manufacture of electrical and electronic products or components thereof. Joint Industry Guide 101 / IEC62474 Material Declaration for Products of and for Electrotechnical Industry is used for the core of this standard. Material: any chemical substance or homogeneous mixture of substances. New product: any piece of equipment put on the market for the first time, regardless of the date of launch of the particular model, and supplied as new. Packaging: refers to containment for the purposes of marketing, protection or handling of a product and shall include a unit package, an intermediate package and a shipping container. Part: any functional unit comprised of one or more mechanical or electrical components. Put on the market: the initial action by which a product is made available for the first time, i.e. leaves the factory or enters distribution, in the applicable territory. Re-used product: any piece of equipment that has already been placed for the first time on the applicable market and is then supplied as used or previously owned, without modification other than repair, reconditioning or upgrade. Spare parts: any part made available for replacement of like parts in existing equipment. Analytical Testing : Testing for RoHS restricted substances must be conducted in compliance with EN62321 Determination of levels of six regulated substances (lead, mercury, cadmium, hexavalent chromium, polybrominated biphenyls, polybrominated diphenyl ethers). Plus additional testing as required for restricted phthalates EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 6

7 A.3 SPECIFICATIONS A.3.i Prohibited Substances The substances listed in Tables A1 and A2 shall not be used as ingredients in any material or part provided to Xerox for use in equipment, or in spare parts for use in products, or in accessories, or in packaging except as defined by further qualification or exemptions. Additional requirements apply to Xerox consumables as outlined in EH&S 701 Xerox Environment, Health and Safety Requirements for Materials. RoHS 1 Prohibited Substances: Table A1 covers European Union RoHS prohibited or banned substances. These requirements apply to electronic products put into distribution for the first time after July 1, 2006 and/or parts and materials intended for use in electronic products put into distribution for the first time after July 1, Xerox only allows the use of these prohibited materials for applications that have been determined by the European Union to be exempt because substitutes are technically infeasible at this time or because substitutes would have adverse safety or environmental effects. A list of approved RoHS exemptions may be found in Table A3. Table A1. RoHS Prohibited Substances Substance Qualification Cadmium and its compounds Hexavalent Chromium and its compounds Lead and its compounds Mercury and its compounds Polybrominated biphenyls (PBBs) Prohibited unless its application is exempted per ROHS 1. The substances shall not be present in concentrations exceeding 0.01% by weight per homogeneous material used in parts or products 2. Prohibited unless its application is exempted per ROHS 1. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 2. Prohibited unless its application is exempted per ROHS 1. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 2. Prohibited unless its application is exempted per ROHS 1. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 2. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 2. Polybrominated diphenylether (PBDEs) including deca-bde Bis(2-ethylhexyl phthalate (DEHP) ** Butyl benzyl phthalate (BBP) ** Dibutyl phthalate (DBP) ** Diisobutyl phthalate (DIBP) ** The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 2. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 3. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 3. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 3. The substances shall not be present in concentrations exceeding 0.1% by weight per homogeneous material used in parts or products 3. 1 EU Directive 2002/95/EC and subsequent revision 2011/65/EU on the restrictions of the use of hazardous substances in electrical and electronic equipment (RoHS) 2 EU Decision 2005/618/EC establishing the maximum concentration values for ROHS. Homogeneous material means a material that can not be mechanically disjointed into different materials. The term homogeneous means of uniform composition throughout, for example individual types of plastics, ceramics, glass, metals, alloys, paper, board, resins, plating, coating and finishes. The term mechanically disjointed means that the materials can be, in principle, separated by mechanical actions such as for example: unscrewing, cutting, crushing, grinding and abrasive processes. 3 EU Directive 2015/863 amending Annex II to Directive 2011/65/EU ** Note Xerox requires the above phthalates to be restricted from any EHS1001 submission made after 25 th March 2016 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 7

8 Other Prohibited Substances Applies to any material or part provided to Xerox for use in equipment, or in spare parts for use in products, or in accessories, or in packaging Table A2. Other Prohibited Substances in Xerox products, parts, materials, accessories and packaging Substance Qualification Reference Asbestos and asbestos materials Azo Colorants Benzidine-based chemical substances Benzene Cadmium and its compounds Cobalt Dichloride ( ) Shall not be an ingredient. Shall not be an ingredient if chemical breakdown results in release of aromatic amines listed in Directive 2002/61/EC. Shall not be an ingredient Shall not be an ingredient, or present as an impurity in concentrations 0.1% by weight. In non-electronic products and accessories: banned from use as pigment, dye, or stabilizer in concentrations greater than 0.01% by weight. In packaging: the sum of the concentration levels of incidentally introduced lead, cadmium, mercury and hexavalent chromium must be less than 100 parts per million. In batteries: banned in concentrations 0.002% by weight Shall not be an ingredient in concentrations greater than 0.1% by weight in products, parts or packaging. Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC*, Marketing and Use of Dangerous Substances and amendments: (83/478/EEC; 85/610/EEC; 87/217/EEC; 91/659/EEC; 99/77/EEC). United States: Toxic Substances Control Act (restricts new uses); Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances and amendments: (2002/61/EC; 2003/03/EEC).: t/eurlex/pri/en/oj/dat/2002/l_243 /l_ en pdf; Blue Angel Eco-Logo EPA SNUR- under the Toxic Substances Control Act (TSCA) Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances, Blue Angel Eco-Logo Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances and amendments: (91/338/EEC, 2006/66/EC, 93/86/EEC); 2002/95/EC (EU/RoHS Directive and its amendments) ; China Management Measures on EIP Pollution Control; EU Battery Directive 2006/66/EC; EU Packaging & Packaging Waste Directive 94/62/EC Article 11 EU REACH 1907/2006, formerly amendment 2001/90/EC of 76/769/EEC, Marketing and Use of Dangerous Substances Dimethyl fumarate (DMF) Shall not be an intentionally added ingredient. EU Com Decision 2009/251/EC 1,1,2-trichloroethane Shall not be an intentionally added ingredient. Xerox Requirement Fluorinated Greenhouse Gases (PFC, SF6, HFC (6 or fewer carbon atoms) Shall not be an intentionally added ingredient in non-refillable containers and non-confined direct evaporation systems containing refrigerants. Shall meet all requirements of EC 842/2006. EC No 842/2006 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 8

9 Substance Qualification Reference Formaldehyde Halogenated Materials (brominated flame retardants, chlorinated flame retardants, PVC) Shall not exceed specified emission limits for composite wood products. Wood packaging materials, including pallets, are exempt from these requirements. See Table A2.1 for specific emission limits. Shall not be intentionally added ingredients in external plastic casings or enclosures. PVC shall not be used in packaging. California Code of Regulations Sections , Title 17. Xerox Requirement Hexachlorobenzene Shall not be an intentionally added ingredient. Xerox Requirement Hexavalent Chromium and its compounds Inorganic Cyanide Compounds In packaging: the sum of the concentration levels of incidentally introduced lead, cadmium, mercury and hexavalent chromium must be less than 100 parts per million. Shall not be intentionally added ingredients. See Table A2.2 for a specific list of compounds. Canada - Prohibition of Certain Toxic Substances Regulations, /95/EC (EU RoHS Directive and its amendments); China Management Measures on EIP Pollution Control; EU Packaging & Packaging Waste Directive 94/62/EC Article 11 Xerox Requirement Lead and its compounds Mercury and its compounds Ozone Depleting Substances (ODS) Pentacholorophenol Banned from use in paints or as a stabilizer in concentrations greater than 0.01% by weight. In packaging: the sum of the concentration levels of incidentally introduced lead, cadmium, mercury and hexavalent chromium must be less than 100 parts per million. In batteries: requires marking with the chemical symbol if concentrations 0.004% by weight. In packaging: the sum of the concentration levels of incidentally introduced lead, cadmium, mercury and hexavalent chromium must be less than 100 parts per million. In batteries: banned in concentrations % by weight In button batteries: banned in concentrations >2% from October 2015 mercury content limit reduces to % by weight for all battery types Shall not be ingredients and shall not be used to manufacture components supplied to Xerox. Shall not be an intentionally added ingredient. Prohibited in the treatment of wood. Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances and amendments: (86/677/EEC, 2006/66/EC, 93/86/EEC); 2000/53/EC 2002/95/EC (EU/RoHS Directive and its amendments), China Management Measures on EIP Pollution Control; EU Battery Directive 2006/66/EC; EU Packaging & Packaging Waste Directive 94/62/EC Article 11; Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances and amendments: (86/677/EEC, 2006/66/EC, 98/101/EEC; 2002/95/EC (EU/RoHS Directive and its amendments); EU Battery Directive 2006/66/EC; Exemption for Battery Button cells is removed from October 2015 EU Packaging & Packaging Waste Directive 94/62/EC Article 11Products Containing Mercury Regulations SOR2014/254 List of ODS available at ml Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances with amendment,1999/51/ec EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 9

10 Substance Qualification Reference Perfluorooctane sulfonate (PFOS) and its salts Perfluorooctanoic acid (PFOA) and its salts Shall not be an intentionally added ingredient in preparations in concentrations of 0.005% by weight. Shall not be an intentionally added ingredient in semi-finished products or articles, or parts at concentrations 0.1% by weight calculated with reference to the mass of structurally or microstructally distinct parts. 0.1 mass% of the part (as the sum of PFOA) Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances and amendment 2006/122/EC: rv.do?uri=oj:l:2006:372:0032:003 4:EN:PDF Canadian Environmental Protection Act, P.C Norwegian products regulation Section 2-32 Phenol,2-(2H-benzotriazol-2-yl)- 4,6-bis (1,1-dimethylethyl)- (CAS# ) Polychlorinated Biphenyls (PCBs) Polychlorinated Napthalenes (more than three chlorine atoms) Polychlorinated terphenyl (PCTs) Shall not be an intentionally added ingredient. Shall not be intentionally added ingredients. Shall not be intentionally added ingredients. Shall not be intentionally added ingredients. Japanese law concerning the evaluation of chemical substances The Law concerning the Examination and Regulation of Manufacture etc. of Chemical Substances (Class 1 chemical substances: Japanese law), Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances with amendment 85/478/EEC The Law concerning the Examination and Regulation of Manufacture etc. of Chemical Substances (Class 1 chemical substances: Japanese law). The Law concerning the Examination and Regulation of Manufacture etc. of Chemical Substances (Class 1 chemical substances: Japanese law), Annex XVII of EU REACH 1907/2006, formerly 76/769/EEC, Marketing and Use of Dangerous Substances with amendment 85/478/EEC. Polyvinyl chloride (packaging) Shall not be used for plastic packaging Xerox Requirement ; Blue Angel Radioactive Substances Shall not be ingredients. U.S. Nuclear Regulatory Commission Title10 CFR Part 20 (Annex C). Laws for the Regulation of Nuclear Source Material, Nuclear Fuel Material, and Reactors, 1986 (Japanese law) Short Chain Chlorinated Paraffins (C10-C13) Shall not be intentionally added ingredients. EU REACH 1907/2006 Flame Retardant (HBCDD) Benzenamine, N-phenyl-, Reaction Products with Styrene and 2,4,4-Trimethylpentene (BNST) Shall not be intentionally added ingredients for all new designed products from January 2013 Shall not be intentionally added ingredients for all new designed products from 15 March 2015 EU REACH 1907/2006 Authorization List Canada - Prohibition of Certain Toxic Substances Regulations, 2012 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 10

11 Substance Qualification Reference Tin Compounds Trisubstituted organostannic compounds (includes tributyl tin (TBT) and triphenyl tin (TPT) Tributyl Tin Oxide (TBTO) Dibutyl Tin (DBT) compounds Dioctyl Tin (DOT) compounds Shall not be present in the finished articles in concentrations 0.1% (REACH Article Definition = an object which during production is given a special shape, surface or design which determines its function to a greater degree than does its chemical composition) Commission Decision 2009/425/EC The Law concerning the Examination and Regulation of Manufacture etc. of Chemical Substances (Class 2 chemical substances: Japanese law); Class 1 chemical substances Japanese law and REACH candidate list - TBTO) Amendment to EU Directive 76/769/EEC, effective Annex XVII of EU REACH 1907/2006 Table A2.1 State of California Phase 1 and Phase 2 Formaldehyde Emission Standards State of California Phase 1 and Phase 2 Formaldehyde Emission Standards for Hardwood Plywood (HWPW), Particleboard (PB), and Medium Density Fiberboard (MDF) Phase 1 (P1) and Phase 2 (P2) Emission Standards (ppm) Effective Date HWPW-VC HWPW-CC PB MDF Thin MDF P1: P1: 0.18 P1: 0.21 P1: P1: P2: P2: 0.09 P2: P2: P2: Based on primary test method [ASTM E (2002) in parts per million (ppm) Note: HWPW-VC=veneer core; HWPW-CC=composite core Table A2.2 Inorganic Cyanide Compounds No. Chemical Name CAS Number Formula 1 Hydrogen cyanide HCN 2 Sodium cyanide NaCN 3 Potassium cyanide KCN 4 Silver cyanide AgCN 5 Cyanogen bromide BrCN 6 Barium cyanide Ba(CN) 2 7 Copper cyanide CuCN 8 Nickel cyanide Ni(CN) 2 9 Zinc cyanide Zn(CN) 2 10 Barium tetracyanoplatinate BaPt(CN) 4 11 Dipotassium tetracyanomercurate K Hg(CN) Calcium cyanide Ca(CN) 2 13 Mercury dicyanide Hg(CN) 2 14 Lead dicyanide Pb(CN) 2 15 Copper cyanide Cu(CN) 2 16 Potassium dicyanocuprate CuK(CN) 2 17 Potassium cobaltic cyanide K Co(CN) Potassium dicyanoaurate KAu(CN) 2 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 11

12 19 Sodium copper cyanide Na Cu(CN) Copper dicyanide Cu(CN) 2 21 Potassium nickel cyanide K Ni(CN) 2 3 TABLE A3. ROHS Exemptions 3 (Note EU RoHS exemptions are being reviewed by EU Commission in 2016 and are subject to potential revision or cancellation if technical justification is not approved by EU consultants) Note: For the purposes of Article 5(1)(a) of Directive 2002/95/EC & subsequent revision 2011/65/EU, a maximum concentration value of 0,1 % by weight in homogeneous materials for lead, mercury, hexavalent chromium, polybrominated biphenyls (PBB) and polybrominated diphenyl ethers (PBDE) and of 0,01 % by weight in homogeneous materials for cadmium shall be tolerated. Substance Mercury, Lead, Hexavalent Chromium, Cadmium, PBDEs, PBBs Exemption # --- Exemption Description Spare parts for use in electronic products first put on the EU marketplace before 1 July Parts for upgrading the functionality or extending the capacity of electronic products first put on the EU marketplace before 1 July Re-used electrical and electronic products first put on the EU marketplace before 1 July Exemption Expiration 1(a) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For general lighting purposes < 30 W: 5 mg Expired on 31 ; 3,5 mg may be used per burner after 31 until 31 December 2012; 2,5 mg shall be used per burner after 31 December (b) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For general lighting purposes >= 30 W and < 50 W: 5 mg Expired on 31 ; 3,5 mg may be used per burner after 31 1(c) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For general lighting purposes >= 50 W and < 150 W: 5 mg Mercury 1(d) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For general lighting purposes >= 150 W: 15 mg 1(e) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For general lighting purposes with circular or square structural shape and tube diameter <= 17 mm ; 7 mg may be used per burner after 31 3 EU Directive 2002/95/EC on the restriction of the use of certain hazardous substances in electrical and electronic equipment (RoHS). These exemptions are consistent with Commission Decision and Corrigenda 2010/ 571/EU of 24 th September 2010 and subsequent revision 2011/65/EU. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 12

13 1(f) Mercury in single capped (compact) fluorescent lamps not exceeding (per burner): For special purposes: 5 mg 1(g) For general lighting purposes <30W with a lifetime equal or above h: 3,5 mg Expires on 31 December (a)(1) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): Tri-band phosphor with normal lifetime and a tube diameter < 9 mm (e.g. T2): 5 mg Expired on 31 December 2011; 4 mg may be used per lamp after 31 December (a)(2) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): Tri-band phosphor with normal lifetime and a tube diameter >= 9 mm and <= 17 mm (e.g. T5): 5 mg Expired on 31 December 2011; 3 mg may be used per lamp after 31 December (a)(3) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): Tri-band phosphor with normal lifetime and a tube diameter > 17 mm and <= 28 mm (e.g. T8): 5 mg Expired on 31 December 2011; 3,5 mg may be used per lamp after 31 December (a)(4) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): Tri-band phosphor with normal lifetime and a tube diameter > 28 mm (e.g. T12): 5 mg Expired on 31 December 2012; 3,5 mg may be used per lamp after 31 December 2012 Mercury 2(a)(5) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): Tri-band phosphor with long lifetime (>= h): 8 mg Expired on 31 December 2011; 5 mg may be used per lamp after 31 December (b)(1) Mercury in other fluorescent lamps not exceeding (per lamp): Linear halophosphate lamps with tube > 28 mm (e.g. T10 and T12): 10 mg Expired on 13 April (b)(2) Mercury in other fluorescent lamps not exceeding (per lamp): Non-linear halophosphate lamps (all diameters): 15 mg Expires on 13 April (b)(3) Mercury in other fluorescent lamps not exceeding (per lamp): Non-linear tri-band phosphor lamps with tube diameter > 17 mm (e.g. T9) ; 15 mg may be used per lamp after 31 2(b)(4) Mercury in other fluorescent lamps not exceeding (per lamp): Lamps for other general lighting and special purposes (e.g. induction lamps) ; 15 mg may be used per lamp after 31 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 13

14 3(a) Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp): Short length (<= 500 mm) ; 3,5 mg may be used per lamp after 31 3(b) Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp): Medium length (> 500 mm and <= 1500 mm) ; 5 mg may be used per lamp after 31 Mercury 3(c) 4(a) Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp): Long length (> 1500 mm) Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp): Mercury in other low pressure discharge lamps (per lamp) ; 13 mg may be used per lamp after 31 ; 15 mg may be used per lamp after 31 4(b)-I Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60: P <= 155 W ; 30 mg may be used per burner after 31 4(b)-II Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60: 155 W < P <= 405 W ; 40 mg may be used per burner after 31 4(b)-III Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60: P > 405 W ; 40 mg may be used per burner after 31 4(c)-I Mercury in other High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner): P <= 155 W ; 25 mg may be used per burner after 31 4(c)-II Mercury in other High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner): 155 W < P <= 405 W ; 30 mg may be used per burner after 31 4(c)-III Mercury in other High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner): P > 405 W ; 40 mg may be used per burner after 31 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 14

15 4(d) 4(e) 4(f) 4(g) Mercury 36 5(a) Lead 5(b) 6(a) 6(b) 6(c) 7(a) 7(b) 7(c)-I 7(c)-II Mercury in High Pressure Mercury (vapour) lamps (HPMV) Mercury in metal halide lamps (MH) Mercury in other discharge lamps for special purposes not specifically mentioned in this Annex Mercury in hand crafted luminous discharge tubes used for signs, decretive or architectural and specialist lighting and artwork, where mercury content shall be limited as follows: (a) 20mg per electrode pair + 0.3mg per tube length in cm, but not more than 80mg, for outdoor applications and indoor applications exposed to temperatures below 20 degree Celsius (b) 15mg per electrode pair mg per tube length in cm, but not more than 80mg, for all other indoor applications Mercury used as a cathode sputtering inhibitor in DC Plasma displays with a content up to 30mg per display Lead in glass of cathode ray tubes Lead in glass of fluorescent tubes not exceeding 0,2 % by weight Lead as an alloying element in steel for machining purposes and in galvanized steel containing up to 0,35 % lead by weight Lead as an alloying element in aluminium containing up to 0,4 % lead by weight Copper alloy containing up to 4 % lead by weight Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead) Lead in solders for servers, storage and storage array systems, network infrastructure equipment for switching, signaling, transmission, and network management for telecommunications Electrical and electronic components containing lead in a glass or ceramic other than dielectric ceramic in capacitors, e.g. piezoelectronic devices, or in a glass or ceramic matrix compound Lead in dielectric ceramic in capacitors for a rated voltage of 125 V AC or 250 V DC or higher Expired on 13 April 2015 Expires on 31 December 2018 Expired on 1 July 2010 Expires on 21 July 2016 and after that date may be used in spare parts for EEE placed on the market before 21 July 2016 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 15

16 Lead 7(c)-III 7(c)-IV Lead in dielectric ceramic in capacitors for a rated voltage of less than 125 V AC or 250 V DC Lead in PZT based dielectric ceramic materials for capacitors being part of integrated circuits or discrete semiconductors Expired on 1 January 2013 and after that date may be used in spare parts for EEE placed on the market before 1 January (b) Lead in bearing shells and bushes for refrigerant-containing compressors for heating, ventilation, air conditioning and refrigeration (HVACR) applications 11(a) Lead used in C-press compliant pin connector systems May be used in spare parts for EEE placed on the market before 24 September (b) 12 Lead used in other than C-press compliant pin connector systems Lead as a coating material for the thermal conduction module C-ring Expired on 1 January 2013 and after that date may be used in spare parts for EEE placed on the market before 1 January 2013 May be used in spare parts for EEE placed on the market before 24 September (a) 14 Lead in white glasses used for optical applications Lead in solders consisting of more than two elements for the connection between the pins and the package of microprocessors with a lead content of more than 80 % and less than 85 % by weight Expired on 1 January 2011 and after that date may be used in spare parts for EEE placed on the market before 1 January Lead in solders to complete a viable electrical connection between semiconductor die and carrier within integrated circuit flip chip packages Lead in linear incandescent lamps with silicate coated tubes Lead halide as radiant agent in high intensity discharge (HID) lamps used for professional reprography applications Expired on 1 September (a) Lead as activator in the fluorescent powder (1 % lead by weight or less) of discharge lamps when used as speciality lamps for diazoprinting reprography, lithography, insect traps, photochemical and curing processes containing phosphors such as SMS ((Sr,Ba)2MgSi2O7:Pb) Expired on 1 January 2011 EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 16

17 Lead 18(b) 19 Lead as activator in the fluorescent powder (1 % lead by weight or less) of discharge lamps when used as sun tanning lamps containing phosphors such as BSP (BaSi2O5:Pb) Lead with PbBiSn-Hg and PbInSn-Hg in specific compositions as main amalgam and with PbSn-Hg as auxiliary amalgam in very compact energy saving lamps (ESL) Expired on 1 June Lead oxide in glass used for bonding front and rear substrates of flat fluorescent lamps used for Liquid Crystal Displays (LCDs) Expired on 1 June Lead in finishes of fine pitch components other than connectors with a pitch of 0,65 mm and less May be used in spare parts for EEE placed on the market before 24 September Lead in solders for the soldering to machined through hole discoidal and planar array ceramic multilayer capacitors 25 Lead oxide in surface conduction electron emitter displays (SED) used in structural elements, notably in the seal frit and frit ring Lead oxide in the glass envelope of black light blue lamps Lead alloys as solder for transducers used in high-powered (designated to operate for several hours at acoustic power levels of 125 db SPL and above) loudspeakers Expired on 1 June 2011 Expired on 24 September 2010 Lead Lead bound in crystal glass as defined in Annex I (Categories 1, 2, 3 and 4) of Council Directive 69/493/EEC [1] Lead in soldering materials in mercury free flat fluorescent lamps (which e.g. are used for liquid crystal displays, design or industrial lighting) 32 Lead oxide in seal frit used for making window assemblies for Argon and Krypton laser tubes 33 Lead in solders for the soldering of thin copper wires of 100 µm diameter and less in power transformers Lead in cermet-based trimmer potentiometer elements Lead in the plating layer of high voltage diodes on the basis of a zinc borate glass body EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 17

18 Lead 41 Lead and Cadmium Cadmium 21 8(a) 8(b) 13(b) Cadmium 40 Lead in solders and termination finishes of electrical and electronic components and finishes of printed circuit boards used in ignition modules and other electronic engine control systems, which for technical reasons must be mounted directly on or in the crankcase or cylinder of hand-held combustion engines (classes SH:1, SH:2, SH:3 of Directive 97/68/EC of the European Parliament and of the Council) Lead and cadmium in printing inks for the application of enamels on glasses, such as borosilicate and soda lime glasses Cadmium and its compounds in one shot pellet type thermal cut-offs Cadmium and its compounds in electrical contacts Cadmium and lead in filter glasses and glasses used for reflectance standards Cadmium alloys as electrical/mechanical solder joints to electrical conductors located directly on the voice coil in transducers used in high-powered loudspeakers with sound pressure levels of 100 db (A) and more Cadmium and cadmium oxide in thick film pastes used on aluminum bonded beryllium oxide Cadmium in colour converting II-VI LEDs (< 10 µg Cd per mm2 of light-emitting area) for use in solid state illumination or display systems Cadmium in photo-resistors for analogue opto-couplers applied in professional audio equipment Expires on 31 December 2018 Expired on 1 January 2012 and after that date may be used in spare parts for EEE placed on the market before 1 January 2012 Expired on 1 July 2014 Expired 31 st Dec 2013 Hexavalent chromium 9 Hexavalent chromium as an anticorrosion agent of the carbon steel cooling system in absorption refrigerators up to 0,75 % by weight in the cooling solution EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 18

19 A.3.ii Reportable Substances ( Reportable if intend to use) The following substances (Table B1) have been shown to have the potential to cause adverse health effects, the potential to generate hazardous waste, have supply chain limitations or have unknown health and environment impacts. If a reportable material is considered for use in equipment, spare parts, or accessories it must be reported to Xerox using form EHS-1001B. Additional requirements apply to Xerox consumables as defined in Xerox EH&S Standard 701 for Materials. Table B1. Xerox Reportable Substances Antimony and its compounds Arsenic and its compounds Beryllium and its compounds Nickel and its compounds Halogenated Materials (e.g. Brominated Flame Retardants (BFRs), Chlorinated Flame Retardants (CFRs), plasticizers, and Polyvinylchloride (PVC) Note: PBBs, PBDEs, SCCPs and PVC in packaging are prohibited Selenium and its compounds Carbon Nanotubes Perchlorates Di-isodecyl phthalate (DIDP) Diisononyl phthalate (DINP) Bisphenol A (BPA) EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 19

20 REACH Reportable Substances Suppliers should be aware of the European Court of Justice (ECJ) ruling of September 2015 on how the 0.1% threshold in Articles 7(2) and 33 of the REACH Regulation should be interpreted. The original guidance on this aspect of REACH, indicated that the 0.1% threshold for Substances of Very High Concern (SVHC) should be calculated on the basis of the whole article as supplied. However, the ECJ ruled that the individual components retain their status as distinct articles and therefore the 0.1% threshold applies individually to each component. EU REACH Regulation 1907/2006 designates certain chemicals as substances of very high concern (SVHC) Use of these substances in Xerox parts, accessories or consumables is to be reported to Xerox using form EHS1001C. In some instances, individual substances are already prohibited from use in products or parts supplied to Xerox, as outlined in Tables A1 and A2. Important Note The number of substances of very high concern will increase in time as the European Chemicals Agency adds substances to its Candidate List. The European Chemicals Agency Candidate List will be updated every six months in December and June and therefore it is essential that suppliers remain informed of the latest position, Information on the latest list of substances of very high concern is available through the European Chemicals Agency website via the link below. When completing Xerox EHS-1001 Form C, Supplier Use of REACH Substances, Xerox requires its suppliers to be aware of the latest candidate list and to report accordingly. Suppliers are required to inform Xerox of any changes / updates to their previous submissions should the reportable substance content change following future releases of the REACH candidate list. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 20

21 Appendix B Xerox Environment, Health, Safety, and Sustainability governance and policy The Xerox Environment, Health, Safety, and Sustainability (EHS&S) organization ensures company-wide adherence to Xerox s environment, health, safety, and sustainability policy. The governance model we use to accomplish this includes clearly defined goals, a single set of worldwide standards, and an audit process that ensures conformance to these requirements. Our EHS&S governance and policy, adopted in 1991, forms the foundation of our environmental leadership program. Xerox EHS&S Policy: Xerox Corporation is committed to the protection of the environment and the health and safety of its employees, customers, and neighbors worldwide. The following principles govern all business practices in the design, manufacture, procurement, marketing, distribution, maintenance, reuse/recycling, and disposal of products and related services: Protection of the environment and the health and safety of our employees, customers, and neighbors from unacceptable risks takes priority over economic considerations and will not be compromised Xerox operations must be conducted in a manner that safeguards health, protects the environment, conserves valuable materials and resources, and minimizes risk of asset losses Xerox is committed to designing, manufacturing, distributing, and marketing products and processes to optimize resource utilization and minimize environmental impact All Xerox operations and products are, at a minimum, in full compliance with applicable governmental requirements and Xerox standards Xerox is dedicated to continuous improvement of its performance in environment, health and safety To learn more about the Xerox Environment, Health, Safety, and Sustainability governance and our progress toward our commitments, see the Environment, Health, Safety, and Sustainability Governance section of the Xerox Corporate Citizenship report. EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 21

22 Appendix C EHS1001 Compliance Forms See separate attachments for these Compliance Forms: Form EHS-1001A Xerox Supplier Certification of Compliance for Prohibited or Banned Substances Form EHS-1001B Xerox Supplier Report of Reportable Substance Use Form EHS-1001C Xerox Supplier Certification of REACH Reportable Substances EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 22

23 Appendix D Revision History Date Section Change October 2004, revision 2.1 October 2004, revision 2.1 March 2005, revision 2.2 March 2005, revision 2.2 March 2005, revision 2.2 March 2005, revision 2.2 March 2005, revision 2.2 November 2005, revision 2.3 November 2005, revision 2.3 November 2005, revision 2.3 January 2006, revision 3.0 January 2006, revision 3.0 December 2006, revision 3.1 August 2007 revision 3.2 June 6, A.2 VI.A.4 Appendix B2 Table B2. ROHS Exemptions Appendix C Table 1, Prohibited Substances Footnote, A.3.i Table 3 Table 1-A Table 2 Table B3 Table 1-B Table B3 Table 2 Table 1-B Table 2 Tables 1A, 1B, 2, 3 and Forms EHS- Consumables removed from scope of standard Table B3 changed to reportable substances and list reduced to relevant metals and compounds in hazardous waste legislation (all organic compounds removed, bismuth added) Updated table with exemptions approved by EU Technical Advisory Committee on December 10, 2005 Revision to form EHS 1001A, B and C to clarify their intent and use This table was split into Table 1A to reflect RoHS requirements only and Table 1B for other prohibited substances. This change was made to avoid confusion. The requirements remain the same. Revised to include the EU s definition of homogenous substance. Nickel, Tin and Zinc compounds reinstated for hazardous waste purposes. Table and footnote revised for consistency with Decision 2005/618/EC and Commission guidance dated May Table revised to align the numbering system with that in the Annex to Directive 2002/95/EC, to include new listings from Commission guidance dated May 2005, and to adopt new exemptions in Decisions 2005/717/EC and 2005/747/EC. Footnote revised. Table revised to include radioactive substances, and flame retardants other than PBBs and PBDEs. Table revised to be consistent with Joint Industry Guide. Table revised to be consistent with Joint Industry Guide. Table revised to adopt new exemptions in Decisions 2006/310/EC, 2006/690/EC, 2006/691/EC and 2006/692/EC. Added EMS responsibility. Added packaging requirements. Added definition of batteries. Table revised to include ban on use of cadmium in portable batteries in Directive 2006/66/EC, and updated to harmonized list. Added prohibition of halogen containing plastics as packaging. Table revised to remove exemption [28] on chromium passivisation, which became obsolete on 1 July Table 1A - Specification that deca-bde is prohibited was added under Polybrominated diphenylether (PBDEs) Table 1B - Hexachlorobenzene and Perfluorooctane Sulfonates were added EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 23

24 revision 4.0 December 1, 2008 revision 4.1 March 31, 2009 revision 5.0 June 15, 2009 revision 5.0 March 29, 2010 revision 6.0 September 30, 2010 Revision 6.1 October 11, 2010 Revision 7.0 December 2012 Revision A and EHS- 1001B Table 1B Table B3 Table 1B Table B3 Table B4 and EHS1001C Table 1B - Requirements for batteries was added under Cadmium, Lead and Mercury Table 1B - References were added Table 2 RoHS Exemptions - Exemption 9a for decabde in polymeric applications was removed Table B3 Reportable Substances - Added the following: Bisphenol-A, Indium, DEHP Table B3 Reportable Substances - Polybrominated Flame retardants now includes HBCDD and TBBPA Table B3 Reportable Substances - Added specification that use of PVC in packaging is prohibited Table B3 Reportable Substances - Changed Nickel compound - not including the metallic element to Nickel and its compounds Form EHS-1001A - Replaced column A.3.ii for reporting weight of component batteries, and removed exemption 9a Form EHS-1001B - Added columns for Bisphenol-A, Indium, DEHP Form EHS-1001B - Changed text in Polybrominated Flame retardants to include HBCDD and TBBPA Table 1B Replaced 91/157/EEC with 2006/66/EC Table 1B Specified marking requirement for batteries containing lead Tables 1B and 1C Added specification for formaldehyde emissions Table 1D Added table of inorganic cyanide compounds Table B3 Replaced Diethylhexyl phthalates (DEHP) with Phthalates (including DEHP, BBP, DBP) Appendix A.2 added a definition for engineered nanomaterials Table A1 Added references to Blue Angel Table A2 Added Phenol,2-(2H-benzotriazol-2-yl)-4,6-bis (1,1-dimethylethyl), removed PBDO. Table B1 Deleted HBCDD, DEHP, BBP and DBP as these are now included in Table C1. Risk assessment data has resulted in the delisting of TBBPA. Added DINP, DIDP, DNOP, TCEP and engineered nanomaterials. Table C1 Added REACH substances of very high concern and associated EHS-1001C reporting form. Editorial changes to table numbering scheme Table A3 Added EU RoHS exemptions Updated to version 5, June Table A2 Table B1 Table C1 Section 2.4 Table A2 Table A3 Section 1.3 Table A2 Table B1 Table A2 Added cobalt dichloride, PFOA, fluorinated GHGs and select tin compounds Table A2 Added threshold concentration for reporting and clarification regarding justification for listed substances. Table A3 Added exemption #39 for cadmium. Section 2.3 Added clarification to the scope of the standard. Table B1 Deleted TCEP which is now included in Table C1; Deleted engineered nanomaterials and indium; added more specificity with respect to halogenated materials. Table C1 Added additional REACH substances of very high concern and date of inclusion. Modified Appendix C (excel file) in alignment with Tables B1 and C1. Section 1.3 Added expectation that suppliers provide complete forms, partial data submissions are not acceptable. Added socially responsible supply chain due diligence expectation. Section Changed threshold to 25g Table A2 Removed 1,2,2-trichloroethane Table A2 Added halogenated materials in external enclosures. Table B1 Removed bismuth and BPA. Table C1 Added additional REACH svhc candidate substances. Table A3 updated to reflect EU exemption review Commission Decision and Corrigenda 2010/571/EU of 24 th Sept 2010 Addition of SEC 1502 requirements for compliance with Conflict minerals Table A2 Added Phthalates BBP,DEHP, DBP, DIBP Table A2 Added Flame Retardant HBCDD Table A2 Added Dimethyl fumarate (DMF) Table A2 Added 1,1,2-trichloroethane Table A3 Added RoHS Exemptions 7(c)-IV and 40 Table B1 Added Carbon Nanotubes Table B1 Added Perchlorates Table B1 Removed DINP, DIDP, DNOP Added reference -RoHS Revision 2011/65/EU EHS 1001 Xerox EH&S Supplier Requirements: Chemical Bans/Restrictions and Part Marking v.8.2 Page 24